executive of KC, was believed to have involved in the fraudulent acts and the receipt of a certain amount of B/E sale money. It was also found that during 2016, (3) Teerasit and (4) Kitisan, KC executive
company and a listed company under the relevant notification. These persons, therefore, cannot perform duties as directors or executives of listed companies during the period they are being prosecuted
clients’ accounts in the manner that caused TIGER price or trading volume to be inconsistent with the normal market condition, with an intent to push the security prices up, during 24-29 October 2018 and on
personnel for two years, starting from 14 September 2016. During the suspension period, {A} is not allowed to work in the managerial or advisory areas in the company, nor could he perform any other duties as
underwriting of investment units (LBDU), the SEC's further investigation has revealed that during the period from August 2008 to December 2015, six of the bank's investment consultants deceitfully took clients
, during the period from 5 January 2009 to 13 October 2009 Numkrit ? then assistant director of UBS International Equity Sale responsible for providing brokerage services to local and foreign institutional
regard, {C} admitted giving advice and taking the client?s trade orders via mobile phone.The SEC found {D} case during its routine inspection that showed her failure to record some of her advice and
constructive outcomes.? Vasant Thienhom, SEC Deputy Secretary-General said, ?The SEC places a high priority on enforcement mechanism. During the past years, the work procedures have been developed while law
during the OECD-Thailand Seminar on Financial Inclusion and Financial Literacy in Asia, the event co-hosted by the SEC and the Bank of Thailand at the Mandarin Oriental Hotel, Bangkok from December 16-17
fraud, causing damages to TUCC during 2010-2011. Those alleged offenders were (1) Yongyuth Ngamkaiwan, Director and CEO of Thai Unique Coil Center Plc. (TUCC); (2) Vacharee Ngamkriwan, TUCC Director and